RIA Intelligence

• M•• A••••••• G•••• independent RIA current
  since Feb 27, 2023 · Sarasota, Fl
• A••••••••• F•••••••• S•••••••• L•• national BD
  Jun 24, 2016 to Jun 2, 2017 · Parsippany, Nj
• A••••••••• F•••••••• S•••••••• L•• national BD
  Sep 28, 2015 to May 11, 2016 · Paramus, Nj
• E••••• J•••• national BD
  May 11, 2015 to Jul 13, 2015 · Clifton, Nj
• M••••• L•• independent RIA
  Oct 17, 2014 to Dec 22, 2015 · Jersey City, Nj
• V••• F•••••••• A•••••••• I••• BD affiliated
  Apr 14, 2014 to Oct 3, 2014 · Jersey City, Nj

• A••••••••• F•••••••• S•••••••• L•• to M•• A••••••• G••••
  left Jun 2, 2017, registered Feb 27, 2023 (2096 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
• M••••• L•• to E••••• J••••
  left Dec 22, 2015, registered May 11, 2015 (-225 days) · Other
• E••••• J•••• to A••••••••• F•••••••• S•••••••• L••
  left Jul 13, 2015, registered Sep 28, 2015 (77 days) · Affiliated broker-dealer or bank to another
• V••• F•••••••• A•••••••• I••• to M••••• L••
  left Oct 3, 2014, registered Oct 17, 2014 (14 days) · corporate re-registration, not a move

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Source

IAPD individual compilation feedreportedadviserinfo.sec.gov

Firm class

Independent wealth managerderived

Years in industry

37derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address